Oracle Cloud ERP · 1 month ago
Supervision Specialist
El Segundo, CA, United States
Full-time
Hybrid
Entry, Mid Level
$64K/yr - $110K/yr
2+ years expOracle Cloud ERP is seeking a Supervision Specialist to join their team and ensure compliance and operational excellence. This role involves conducting principal reviews, providing guidance to financial professionals, and collaborating with various teams to support the firm's objectives.
Information Technology & Services
Responsibilities
Conduct principal review of trades, new business applications, and correspondence
Review alerts related to advisory account exceptions
Provide guidance to financial professionals and their staff on new business review, supervision issues, compliance, industry rules, and firm policies
Collaborate with team members, departments, home office staff, and field personnel to provide ad hoc supervision support and promote the firm’s overall objectives
Qualification
Required
Bachelor's degree
FINRA Series 7, 24, and 63 licenses required; Series 65/66 within 6 months; Series 53/52 within 1 year of hire
2+ years of supervisory and/or sales experience within the brokerage and securities industry
Strong working knowledge of industry products and services (stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, alternative investments, etc.)
Deep understanding of industry rules governing transactions and suitability
Excellent technology and communication skills
Ability to thrive in a fast-paced environment with strong prioritization and multitasking skills
Collaborative team player with a commitment to department and firm success
Previous compliance, supervisory, and/or sales experience within the industry
In-depth knowledge of financial products and services
Preferred
Additional industry certifications
Experience with Pershing, Smarsh, Albridge, Protegent, Docupace
Independent broker-dealer experience
Benefits
Competitive performance-based bonus
Company
Oracle Cloud ERP
Oracle Cloud ERP is a software as a service, SaaS, solution for businesses to control and manage multiple facets of their business.
10001+ employees
Funding
Current Stage
Late StageCompany data provided by crunchbase